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The latest victory in court for Jayne W. Di Vincenzo over Devin J. Garofalo may have finally ended the saga.

Since President Trump took office in his second term, the expert panel advising the Department of Labor on ERISA matters has stopped meeting, and officials have not explained why.

PE money eviscerates an RIA's client-first culture, leading to advisor burnout and turnover.

In a sternly written footnote, federal Judge Steven Merryday said the SEC's refusal to release information on its penalty calculations appears to "countenance duplicity, gamesmanship, neglect, insouciance" or worse.

Panelists said advisory firms should take urgent steps to get ahead of regulatory examinations focusing on AI use.

There's "no free lunch investing in private assets," the research firm said in its latest study of semiliquid assets — released a week before Blue Owl permanently shut the gate of a closely watched private credit fund.

At Future Proof Citywide, Azish Filabi of The American College of Financial Services, outlined the need for firms to be careful with client data and stress-test their infrastructure.

The Internal Revenue Service has released its annual list of the 12 most dangerous tax scams, including a new long-term capital gains credit scam, bad advice on social media, and more.

What are taxpayers currently asking their preparers?

Nasdaq announced its partnership with the crypto exchange as part of an initiative for 24/7 trading that is pending regulatory approval from the SEC.

After an optimistic start to the year, financial advisors' confidence in the economy and other key indicators fell sharply in March as the United States escalated its bombing campaign in Iran.

Analysts warn AI agents could automatically move clients' uninvested cash into money markets and other high-yielding investments, depriving brokerages of one of their most lucrative revenue sources.

The latest study by The Kitces Report of advisors' well-being found five key drivers of their happiness with work — and many firms are falling short.

The payouts come as UBS nears completing its integration of Credit Suisse, which it bought in 2023.

The spring media buy for the CFP Board's ad push to increase public trust in and visibility of certified financial planners will cost $14.6 million and run to May 17.

The members of the "Patriotic Millionaires," who include a Disney heiress, argue that rich residents can afford paying more into city coffers.

The pilot program for the new Trump accounts will deposit $1,000 into the accounts of children born between 2025 and 2028.

In this month's FACO, we asked how much time advisors spent on their firm's brands, what their marketing objectives were and their main sources of new clients.

Mario Payne — an independent advisor who had used Charles Schwab and TD Ameritrade for custodial services — lands both firms in hot water over his recommendations of risky investment products.